Rule builder
It allows the compliance officer to build pre-clearance and/or post-trade rules to
comply with SEC rules, ICI recommendations, and the firm’s code of ethics.

Trade pre-clearance
Employees can submit pre-trade authorization requests. Those requests will be run against firm’s trade rules.
They will be auto approved, auto denied, or escalated to the manager or compliance officer based on the configuration.

Post trade monitoring
Broker confirmation will also be recorded and run against post trade rules. Any violations(exception) will be reviewed and resolved
by compliance officer with configurable workflow.

Disclosure and Certification.
Employees can easily disclose the broker accounts.
The certification of those accounts can be scheduled to be completed at appropriate intervals.

Easy reporting.
It has various build-in reports. Adding a new report is easy by simply adding a new Jasperreport template.